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No Discretion Required? Caseworker Autonomy and the
Rules of Welfare Reform*
Tiffany Taylor, Kent State University
Previous research suggest that welfare caseworkers break rules either for their own
gain or to help clients. In the last decade, the rules regarding Temporary Assistance to
Needy Families participation have become stricter and more prescriptive for clients
although caseworkers still use discretion. Using observations and interviews in a case
study of a welfare-to-work office in rural North Carolina (USA), I find caseworkers used
discretion in ways that benefited the county Department of Social Services; yet, they
gave accounts of sticking to the rules. Building on literature on welfare provider discre-
tion, I broaden my focus to examine welfare workers within the broader context of
worker autonomy. I draw on classic studies of worker autonomy, and I argue placing
studies of welfare worker discretion within a broader body of literature on autonomy
will allow scholars to better understand contemporary issues of worker autonomy across
sectors.
Introduction
It has been nearly 2 decades since the passage of 1996 Personal Responsi-
bility Work Opportunity Reconciliation Act (PRWORA). This reform over-
hauled cash assistance programs in the United States, abolishing Aid to
Families with Dependent Children (AFDC) and creating Temporary Assistance
to Needy Families (TANF). The transition from AFDC to TANF was substan-
tial with major policy changes including federal time limits on assistance, work
activity requirements, and limits to assistance if a client became pregnant while
receiving cash assistance (known as “family caps”). Under TANF, caseworkers
require clients to adhere to these new requirements and sanctions have become
a primary tool to gain compliance. But, sanctions are not just tools used by
caseworkers. The devolution of welfare administration from federal to state to
county governments required local governments to report program outcomes to
state and federal governments to obtain block grants to fund their welfare-
to-work programs (Fording, Schram, and Soss 2006; Fording, Soss, and Schram
2007). State and federal governments threaten sanctions (loss of economic
resources) if counties and states do not meet new requirements. In short, TANF
policies encourage the use of punitive policies as means to increase account-
ability of both clients and local governments (Handler and Hasenfeld 2007).
Sociological Inquiry, Vol. xx, No. x, 2014, 1–23
© 2014 Alpha Kappa Delta: The International Sociology Honor Society
DOI: 10.1111/soin.12038
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How have caseworkers responded to these changes? With each new
reform, caseworkers are faced with new rules and may struggle to keep up with
current policy. Further, caseworkers find themselves in a tough situation
because of their contradictory job duties of helping and policing clients. In this
study, I examine how caseworkers use discretion in the current U.S. welfare
system? Do caseworkers use discretion to help clients or to police them? In this
study, I build on existing literature concerning whether or not caseworkers use
discretion by turning my focus to examine their accounts of the rules and using
discretion. While the literature on welfare worker discretion is important, I
broaden my lens using classic sociological theories of bureaucracy and worker
autonomy to place this study within the sociological tradition of organizational
case studies of labor process. Additionally, while much of the United States is
rural, less research examines worker discretion and autonomy in rural areas.
This study attempts to lessen this gap in the literature through my case study
of a rural county in North Carolina. This county has deindustrialized and is left
with high unemployment and poverty. In this context, welfare-to-work program
service providers are incredibly constrained in helping clients move from wel-
fare to work. Given these conditions, I find caseworkers give accounts about
the rules and discretions that often contradict what they actually do. I argue fur-
ther that given caseworkers’ deskilled status, their contradictory accounts reflect
the caseworkers’ efforts to feel like good, autonomous workers in a highly con-
strained and unrewarding job.
Literature Review
In his classic work on bureaucracy, Merton (1957) describes the ideal
formal organization and following Weber (1981) the key components of
bureaucracy. The division of labor is differentiated to be specialized. Author-
ity is hierarchical and passed down through the organization largely in the
form of procedures. If not followed, these procedures are enforced with
some form of sanction. Merton states “the generality of the rules requires
the constant use of categorization, whereby individual problems and cases
are classified on the basis of designated criteria and are treated accordingly”
(emphasis in original, 1957:196). Further, Merton reminds us that in bureau-
cracies, individuals are separated from the instruments of production and
workers do not fully control their labor. This is not welcomed by workers,
and therefore, for a bureaucracy to be successful, discipline is key. Worker
behavior needs to be routine and predicable. Merton argues further that “the
efficacy of social structure depends ultimately upon group participants with
appropriate attitude and sentiments” (1957:198–99). In other words, workers
need to internalize certain beliefs such as deference, beliefs in the effective-
ness of the rules and the organization.
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Workers also need to be monitored to make sure they are following the
rules. In bureaucracies, workers are usually monitored by standardized mea-
sures that are easily quantified. This often results in workers playing a “num-
bers game” to keep management at bay (Blau 1963). This, in turn, can create
more “bureaucratic personalities” and creates a paradoxical situation for worker
autonomy. Monitoring of the rules and regulations through standardized quanti-
tative measures often leaves workers some room to exercise discretion (Blau
1963; Brodkin 1997, 2006; Fording, Schram, and Soss 2006; Fording, Soss,
and Schram 2007; Hays 2003; Lipsky 1980; Ridzi 2004, 2009). Sometimes,
the worker may use this window of discretion to exercise some level of author-
ity or autonomy, becoming, in Merton’s words, the bureaucratic personality
(Merton 1957).
More than 3 decades ago, Lipsky (1980) illustrated how street-level
bureaucrats implemented social policy. He argued that the public service work-
ers faced considerable conflict in their jobs and often worked in heavily rule-
bound workplaces. Despite the conflict and the constraints, these workers were
able to exercise discretion and authority to implement policies. As Lipsky
(1980) argues, workers attempt to maximize their autonomy working in jobs
that require them to negotiate contradictory job demands of helping people,
while simultaneously being agents of social control. Subsequent research has
examined the contexts in which street-level bureaucratic discretion is used
(Scott 1997 examines individual, organization, or client attributes), how indi-
viduals’ feelings of justice affect discretion (Kelly 1994), devolution and dis-
cretion (Fording, Schram, and Soss 2006; Fording, Soss, and Schram 2007),
and how discretion is used in unjust ways, including task-specific discretion of
case closure (Monnat 2010; Monnat and Bunyan 2008; Schram et al. 2009).
Shortly after the 1996 US welfare reforms that created TANF, Sharon
Hays (2003) focused her attention on 2 county social service agencies and
found caseworkers would often bend rules in ways they felt would benefit the
client (see also Lurie 2006). Caseworkers resisted changes to welfare policy in
the United States in many ways. This finding contrasted prior research, such as
Blau’s (1963) work in which he found street-level bureaucrats bend rules in
ways to meet productivity requirements, regardless of the outcome for clients.
Hays and Blau suggest that caseworkers use discretion either for their own gain
or to help clients.
Watkins-Hayes (2009) builds on this literature and also focuses on the
consequences of the conflicting roles of welfare caseworkers. In her case study
of 2 county welfare-to-work programs in Massachusetts, she finds tensions
between caseworkers’ roles as counseling clients and enforcing rules. Case-
workers’ develop contrasting identities toward their work, becoming either
“social workers” or “efficiency engineers” (see also Taylor and Seale 2013).
NO DISCRETION REQUIRED? 13
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Caseworkers with a social work identity are more expansive in how they
attempt to address self-sufficiency and the areas in which they should intervene.
Those with a social work orientation seek to get to the roots of the problems
their clients are facing and use discretion in ways to help clients. In contrast,
efficient engineers emphasize specific reform demands such as eligibility
determination, rule enforcement, and referrals, and they argue meeting these
benchmarks will help their clients reach self-sufficiency. They focus on time
limits, sanctioning and work-related activity participation rate goals, and more
often use discretion to benefit the county bureaucracy. These managers are ex-
emplars of Merton’s (1957) concepts of rule-mindedness and the bureaucratic
personality.
While we know that caseworkers use discretion, the literature suggests that
caseworkers may use discretion in ways to meet bureaucratic goals (Blau
1963), or they may use discretion in ways that benefit clients (Hays 2003).
Consistent with other research on street-level bureaucrats, within the same orga-
nization, some workers might use discretion to benefit the clients, while others
use it in ways to help the organization (Lens 2012; Maynard-Moody and
Musheno 2003; Watkins-Hayes 2009). However, less research has examined
caseworkers’ talk about rules and discretion more broadly. I build on this exist-
ing literature by examining how caseworkers understand and discuss following
rules. I conduct my study in a county in rural North Carolina and describe this
location and context, and the methods used in this study, in the following
sections.
Location
The location chosen, Smithgrove County,1 was selected for theoretical rea-
sons. The county is rural, has deindustrialized, and has high rates of unemploy-
ment and poverty. The county also has a high number of program clients
reaching state time limits (24 months in North Carolina). In other words, this
county faces a number of serious challenges to being successful in helping cli-
ents move from welfare to work. Faced with these enormous challenges, I
wanted to see how caseworkers in this county implemented welfare policy.
Smithgrove County is in eastern North Carolina, where the economy has
centered on cotton agriculture and textile manufacturing in the second half of
the twentieth century. Several small cities grew from mill towns that textile
manufacturers constructed when they sought cheap labor that was socially and
geographically isolated (Wood 1986). Wealthy southerners essentially invited
these firms to exploit the desperately poor white farmers as mill laborers, while
using already exploited African American tenant and sharecropping farmers to
harvest their supply of cotton (Tomaskovic-Devey and Roscigno 1996, 1997).
This historical economic development set into motion decades of worker
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exploitation and poverty (Anderson, Schulman, and Wood 2000; Wood 1986).
Smithgrove County’s racial makeup was attractive to companies at the time,
and still today, the African American population in Smithgrove County is lar-
ger than the non-Hispanic white population (53% and 43% respectively, with 4
percent of the population comprising other racial categories according to 2000
Census data).
The Bureau of Labor Statistics2 reports that in 2007, when the data were
being collected, Smithgrove County was among 200 US counties with the
highest poverty and unemployment rate. More than a quarter of Smithgrove
County’s population was living in poverty (more than double the North Caro-
lina average) and more than 9 percent were unemployed (which is much higher
than the NC rate of 5.5%). These figures simply illustrate Smithgrove County
residents face tough conditions that show little promise of improving. Work
opportunities are not plentiful and most jobs that are currently filled offer very
low wages. Smithgrove County and the eastern part of the state never diversi-
fied their industrial base. This lack of industrial diversity proved disastrous for
the economy by 2000. When the textile and apparel industries moved further
south (first to the US Deep South and then to Central America) for cheaper
labor, many people in this region were left without jobs (Anderson, Schulman,
and Wood 2000). In 2007, the Bureau of Labor Statistics reported retail as the
largest industry in the county and the jobs in this sector paid <$20,000 a year.
In North Carolina3, TANF funding is used to support the “Work First”
program discussed in this study. Like many states, North Carolina instituted
time-limited assistance, only offering assistance for 24 consecutive months and
recognizing the federal 60-month lifetime limit. Family caps were also insti-
tuted and forbid additional assistance if a program client becomes pregnant
while receiving cash assistance. Finally, North Carolina instituted work require-
ments for cash assistance. Caseworkers use sanctions to enforce rules under
TANF, and Work First and sanction policies vary greatly by state. In North
Carolina, sanctions result in case of closure and the loss of cash assistance for
the entire family for 30 days. Once the sanction period ends, then families can
reapply for assistance. Compared to other states “toughness,” Soss et al. (2001) 3
find North Carolina to have adopted weak parent only sanctions (although they
switched to stricter full-family sanctions in 2005), strict work requirements, a
time limit shorter than the federal limit, and a family cap. Overall, North Caro-
lina policies are in the top-third of states in terms of “toughness.”
Methods
There is a long tradition of case studies of organizations in sociology
(Blau 1963). Case studies are appropriate when studying organizations and the
workers within the organization (Stake 1995; Yin 1994) 4. As mentioned, the
NO DISCRETION REQUIRED? 15
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location for this case study was selected for its uniqueness or “particularity”
(Stake 1995; Yin 1994). Instead of examining the typical welfare-to-work
office, the focus of this research was to explore how workers work to feel
effective in a highly constrained workplace. Therefore, using the case study
method is appropriate because of both the particularity and the need to place
the case within a historical, social, political, and economic context of the work-
ers in this organization attempting to implement this policy. Data collection for
this case study occurred from June 2006 until June 2007. While case studies
vary in the methods employed, several methods were used in this project given
the numerous benefits to use multiple methods in research. For instance, by
interviewing, researchers can learn what caseworkers’ say they do and how
they feel. By observing, researchers see what caseworkers actually do. The var-
ious methods, then, serve as a check and balance, improving the reliability and
validity of the data and findings (Hammersley and Atkinson 1985; Marshall
and Rossman 1998; Stake 1995; Yin 1994). The first step in the research was
to conduct a thorough review of the policies and procedures relevant to the area
of study, including welfare history and policy documents in the United States,
North Carolina, and Smithgrove County. These include training manuals from
the job readiness class, performance reviews, program policy manuals, and a
variety of paperwork used by caseworkers and clients on a daily basis. This
allowed me to develop an understanding of the historical, social, political, and
economic development of Smithgrove County, as well as county, state, and
federal welfare policy.
I also observed, as a participant and non-participant observer in a number
of settings. These observations included shadowing caseworkers as if I were
training, sitting in on interviews with welfare clients, and sitting in the cubicle
area, observing phone and face-to-face interaction between caseworkers and
welfare clients. I also went on home visits to clients’ homes and attended the
job readiness class, as well as the regional economic development summit and
the quarterly regional workforce and economic development meetings. Addi-
tionally, I attended “success staffing” meetings in which DSS workers and their
community partners (nonprofit and other government agencies who provide ser-
vices) met with welfare clients who were in danger of hitting time limits.
Finally, I often observed and had informal conversations with caseworkers and
managers in the large open cubicle office.
I conducted interviews with welfare service providers including casework-
ers, line supervisors, and the program manager. Caseworkers’ actions are the
main focus in this study. Caseworkers are responsible for the intake of clients,
determining eligibility for programs, and maintaining clients’ paperwork. I
interviewed all thirteen caseworkers working in the Work First program in the
county. Of these caseworkers, all were women, 5 were white and 8 were
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African American. I estimate that 6 were in their thirties, while the remaining
caseworkers were older, their ages ranged from forties up to a few supervisors
who were in their sixties. Three of the caseworkers had received cash assis-
tance through the DSS before becoming caseworkers. An additional caseworker
had once received county-coordinated outplacement assistance when the
local textile mill closed. In addition to the caseworkers, I interviewed 2
employees responsible for interacting primarily with organizations in the com-
munity and secondarily with clients. One of these employees was an African
American woman in her thirties who was employed full time with the Depart-
ment of Social Services. A second liaison was a white woman, also in her
thirties who worked out of the county’s Chamber of Commerce, but half of her
time and salary was dedicated to DSS. In addition to spending more than a day
each week meeting clients at the Employment Security Commission, these
community liaisons were responsible for promoting the “Work Experience”
program.
I also formally interviewed 3 line supervisors as a group and had frequent
informal follow-up discussions with them individually. Of these supervisors, 2
were white and one was African American. Finally, I interviewed the supervi-
sor who oversees the Work First program in the county. This supervisor was a
white woman who has been with the DSS for more than 20 years. She is one
of the few workers in this division holding a 4-year degree. All of the supervi-
sors worked with DSS prior to the implementation of 1996 welfare reform
policies. All interviews with individuals (in total 19 DSS employees) were
semi-structured using techniques meant to elicit rich stories (Weiss 1994). Inter-
views lasted between 30 minutes to over 2 hours, averaging just over an hour.
I recorded all interviews, which were transcribed immediately.
The data were analyzed using a grounded theory approach (Glaser and
Strauss 1967 5; 6; 7; Charmaz 2001 5; 6; 7, Charmaz 2006) 5; 6; 7. As I conducted interviews, I
began open (or line-by-line) coding data to uncover the emergent patterns con-
cerning discretion that were present within and across interviews. Consistent
with Lofland and Lofland (1995) 8, after initially open-coding the data, I used
analytic memos to explore themes that emerged in the interview data and the
observation data. I then used focused-coding and subsequent analytic memos to
analyze themes further in both the interview and relevant observation data, not-
ing contrasts and contradictions between the interview data and the observation
data. Consistent with axial coding, I begin to note sub-categories in the data
(for instance, the different accounts workers made about using discretion) and
then theoretical coding to connect the emerging patterns to a broader theoretical
framework of worker discretion and autonomy (Charmaz 2006) 9. I report these
themes in the following sections, linking the findings to relevant literature to
better contextualize the findings.
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The Context of Constraints: Rules and Intensity of Monitoring
Supervisors in Smithgrove County discussed being frustrated with rules
imposed on them by the state. In an interview with 3 line supervisors, one
supervisor said:
But it is frustrating. Sometimes it feels like it—especially with participation rate—and you do
all you can. It’s almost like they set you up to fail. They have unrealistic numbers you have
to meet. It is all a numbers game. And we need to get away from numbers. And we need to
realize these are people and individuals. . . it is all numbers and what makes the state look
good.
Many Work First supervisors in Smithgrove County described “the State”
as having a “numbers game,” and said that the state does not acknowledge all
the good things they do to help clients, such as education programs, substance
abuse treatment, and domestic violence counseling. These feelings are exacer-
bated, as the quote above suggests, by recent reauthorizations of TANF requir-
ing that 50 percent of clients in North Carolina be engaged in work and
work-related activities (this was referred to in the above quote as “participation
rates” and is a result of the US Deficit Reduction Act of 2005).4
In Smithgrove County, this requirement has resulted in their altering the
labor process, making caseworkers specialize in the type of client they serve.
Specifically, some caseworkers now have only employment cases, which are
cases in which the parent is or should be seeking work. These cases are consid-
ered by far the most labor intensive and involve caseworkers checking on
employment activities of the clients and even making house visits. Caseworkers
said that the more “senior” caseworkers had these cases; however, a supervisor
told me the decision was based on who was best at getting the clients out to
work and getting their paperwork completed on time (see Taylor 2013 for an
examination of paperwork). Other caseworkers work only with the clients roll-
ing onto disability and child-only cases,5 both of which are considered “low
maintenance” cases, as these require only updating paperwork. Supervisors
argue that this specialization in caseload will make the county more efficient
and effective in hitting the new work-related activity requirements.
Despite this effort and reorganization, supervisors indicate that the new
work-related activity requirement is impossible to reach and will result in the
county being sanctioned by the state government. While they briefly expressed
their frustration over this situation, they remained hopeful that their new labor
process might help them achieve this seemingly impossible goal. Interestingly,
however, when clients assert that a rule or goal is impossible, the caseworkers
and supervisors respond with sanctions and justifications such as “the
real world has rules” which I heard often during my time in the field. This
requirement has also led to a number of instances in which caseworkers use
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discretion, but in ways more similar to Blau’s findings than Hays’s. They use
discretion to make their numbers, with little regard to the consequences for
clients.
This was not always the case. Constraints have increased over time, and
caseworkers have come to resist these changes less and less. In a discussion
with supervisors about caseworkers’ daily interactions with clients, supervisors
talked about how difficult face-to-face interactions can be for caseworkers, par-
ticularly given the sanction-heavy nature of the current programs. When case-
workers want a client to do something, typically, they send the client a letter to
notify the client that they must do some action before a certain date or they
will be sanctioned. Talking about the letter, one supervisor said:
And [caseworkers] have gotten better with that– as far as – they are getting to the mindset
now where they don’t have a choice. [The letter] is [the client’s] second chance. [Clients] call
then and [say] ‘this happened’ and ‘my child was sick.’ Well, I am sorry. Either you do what
you have to do, what you were supposed to by that time or – we don’t have room for leeway
anymore. Kim, Line Supervisor
This quote from Kim illustrates changes in caseworkers’ perceptions of
sanctioning. First, caseworkers must have once been more resistant, but they
have now accepted this new “mindset” in which they must embrace sanction-
ing. Further, the letter is seen as a second chance, a warning. It is now the cli-
ent’s responsibility, even their job, to comply with the rules. The caseworkers
can no longer accept the excuses, as the caseworkers, according to the supervi-
sor, do not “have room for leeway anymore.”
Caseworkers’ Accounts of Avoiding Discretion and Autonomy
Many caseworkers insisted that they did not break the rules or at least that
they did not have the leeway to bend rules anymore. There is some fear of the
repercussions for not following the rules; however, this only scratches the sur-
face. But, why do caseworkers say they do not bend the rules? In interviews,
when we discussed, what rules meant to the caseworkers and how they used
the rules, they gave accounts that sticking to the rules is better for them and
better for the clients.
In some ways, it is not surprising that the caseworkers claimed to follow
the rules. As Kanter (1977) illustrated decades ago, “rules-mindedness” is a
source of power and affirmation for workers with little opportunity for advance-
ment. The caseworkers in Smithgrove County in this sense are “stuck” in their
jobs as there are very few supervisor positions and the current supervisors have
no plans of retiring in the near future. As Kanter notes, following the rules also
provides workers with legitimate authority, as the supervisors will always
back them up when they invoke the rules. That said, expectations about rule
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following might be conflicting. On the one hand, following the rules means
you are a good worker. On the other hand, following the rules could mean you
surrender your autonomy.
According to caseworkers, they follow the rules for 4 major reasons: effec-
tiveness, efficiency, avoiding mistakes, and being fair. Overall, the caseworkers
argue that going by the book and having a book to go by are better for them
as they are not burdened by negative consequences of their decision making.
Another way to look at this is that, caseworkers use the rules as they need to;
if anyone questions their actions, they fall back on the rules as justification for
their actions. One caseworker stated she tells clients, “. . . if you don’t do what
is required of you to do, this is what is happened. This is our job and we have
to enforce this.” Another caseworker said:
I used to like not sanction people, because I would listen to them, them telling this story and
I would say okay, okay. [The supervisors] start getting on me because she said ‘you are too
nice you need not do that, if they don’t do this you need to go ahead’ [. . .]. But I have a job
to do and you’re responsible for your part. I’m responsible for my part, so if you don’t do
your part then I’m gonna have to do my part and that’s just that. But I was being a little too
nice and you need to go head on and do what you need to do. Get these people, either they
going to do what they need to do or you just going to terminate services. Now, I listen, I
explain to them that I have a job to do, I do what I suppose to do and you supposed to be
doing this and they don’t do it, then that’s it. Judy, Caseworker
This caseworker outlines a process through which she learned that not
using discretion to benefit the client was a good thing. Her account (discussed
more below) stressed that it was good for her, the county, and in her quote,
she argues it is a lesson for the client. The caseworker was being “too nice.” In
the following sections, I discuss the caseworkers’ accounts that following rules
(and avoiding discretion) is more efficient and helps them avoid making mis-
takes that could have bad consequences for the clients. In this sense, a lack of
discretion is better for the clients. Additionally, they argue avoiding discretion
insures that all clients are treated the same. Caseworkers believe treating the
clients the same is equal to treating them fairly.
More Effective
Caseworkers said they did not bend the rules as they are more effective in
helping clients. According to the caseworkers, when using the rules, you
always tell clients all the things you are supposed to tell them. Without the
manual, it would be very difficult for caseworkers to keep track of the complex
requirements of welfare reform post-TANF. In fact, the manual fills 3 to 4
huge binders. For this reason, caseworkers often just access it online. Several
caseworkers showed me the manual to illustrate the incredible amount of infor-
mation they were required to know.
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There are a great number of things clients must be told. As part of the
“mutual responsibility agreement” (MRA) ideology that places more responsi-
bility on the clients, caseworkers must tell the clients their responsibilities.
They have to tell the clients, and remind them, about all the rules, which usu-
ally involve reminding clients of work-related responsibilities and keeping
paperwork updated. As Julie, a caseworker said, “what the MRA is saying is
that this client is going to do these things, not that they are doing it right now,
but you have to make sure it’s done fair, by review.” Caseworkers rotate
responsibilities each day of the week such that: some days are dedicated to
paperwork, some are dedicated to client home visits, and some to client intake.
Due to this rotation, clients may be seen by other caseworkers and not the
caseworker assigned to their case (caseworkers become standardized in this
rationalized labor process). Therefore, following the rules in terms of telling the
clients what to do and documenting it in the computer system may allow any
caseworker to interact with any client, no matter who is assigned that client.
For instance, one caseworker noted it was important to follow rules regarding
documentation, echoing the quote above, “we have everything straight. . .
because we all the time have to be seeing each other’s clients.” Caseworkers,
then, give accounts that the rules are effective for both the caseworkers and the
clients.
More Efficient
Secondly, it is more efficient to follow the rules. Instead of trying to
decide what to do, the rules will always instruct the caseworkers on what to
do. The following quote captures the importance of efficiency and why case-
workers follow the rules:
Well, anything that we need to know, we can pull that manual up and most of the time it’s
there. And so we don’t have to wonder about ‘should I do it this way or should I do it that
way?’ And that’s why I, where I think the book comes in real good. Ann, Caseworker
As Ann indicates in the quote above, “we don’t have to wonder about
should I do it this way or should I do it that way.” In other words, waffling
back and forth wondering whether you should do this or that wastes time. Time
is certainly not a resource caseworkers have to waste. The demands of the job
include face-to-face meetings and phone calls with clients, and caseworkers
may have little control over how much time these take. Additionally, casework-
ers have an overwhelming amount of daily, weekly, and monthly paperwork
(all of the caseworkers complained about the difficulties getting this work com-
pleted on time). Further, caseworkers must enter the time they spend on each
task into a computer system, much like an hourly billing system, which takes
additional time. In other words, caseworkers do not want to waste any time
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wondering about what to do next. Following the rules saves time they would
use making decisions about how to proceed.
Avoiding Mistakes and Being Fair
In the previous quote from Ann, caseworkers worry about making mis-
takes and especially making mistakes that harm clients in some way. With only
1 or 2 exceptions, all of the caseworkers and supervisors placed a great deal of
emphasis on doing a good job and doing it “right.” Caseworkers did not want
to make mistakes in general, and they certainly did not want to make a mistake
that might harm a client. To this end, caseworkers felt following the rules
helped them tell the clients everything they needed to know. Obviously, the
underlying assumption is that telling them everything means you are telling
them the right thing.
In this sense, the workers argue the rules mean doing something “cor-
rectly” or “the right way” in an uncertain world where what is “right” may not
be so clear cut and might not be in the manual. Making a mistake might indi-
cate a “wrong” action, and avoiding mistakes means a right action. However,
following the rules is not necessarily the most moral or even effective action.
To do what is morally “right” might require caseworkers to break the rules,
and this is something that many of the caseworkers seem to be aware of on
some level, especially when it comes to issuing sanctions. Judy, a caseworker
who had once received welfare cash assistance, described how difficult it had
been to sanction clients, but quickly talked about the necessity of it.
I used to not like to sanction people because I would listen to them, them telling this story
and that. And I would say okay, okay and [my supervisor] start getting on me because she
said, you are too nice. You need not do that. If they don’t do this you need to go ahead-
and- and- then I was finding myself getting behind. Judy, Caseworker
Judy’s emotions are difficult to convey through the quote except for the
broken sentences and pauses. Judy was attempting to make sense of the moral-
ity of her sanctioning clients, and she eventually found at least some satisfac-
tion in that she had to stop being so nice to avoid her supervisor “getting on”
her and so she could keep up with her workload.
Another example of the moral dilemmas of this work is telling. One case-
worker described her frustration with clients walking off jobs:
[. . .] you get drained when you do so much. Like the girl we got the job and she didn’t even
work 3 hours before she walked out, you know. [. . .]You know, we invested so much time
and energy and effort and then when she walked out I was like ‘okay you quit a job without
good cause, you’re going into sanction.’ And then she’s sick and she has to quit school. Well
you quit school, now we got to put you in the world. You’re just drained and you’re like
‘whatever.’ But then you’re– I walked to her house Wednesday and I saw her laying on the
couch with those tubes coming out of her and I said ‘what’s that’ and she said ‘I told you I
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been sick. I’ve had eight surgeries in two weeks. That’s why they’re draining the fluid from
me.’ And then you see the almost yellow fluid coming out of her into the– you know, kinda
pumping it out of her. Then you kinda got slapped in the face. Then you think ‘oh man’ and
then your whole attitude has to change because then you have to realize that she really is sick
and you have to exempt her from employment services. Stephanie, Caseworker
Stephanie began the story by telling how she was frustrated that the client
walked off the job. However, then, she turned to how she had misjudged the
client’s situation. She had thought the client was being irresponsible, when in
fact the client had been sick. In a later conversation, Stephanie told me she had
the ability to size people up when they came into the agency. She could tell
whether a client was going “to do” or whether they were “not going to do.”
But, Stephanie had misjudged this client. This made her question her ability to
“size up” clients. In other words, Stephanie’s comment of thinking “oh man”
reflects a few things: the situation of having sanctioned a client that was legiti-
mately sick, but also her concern about her competence in “sizing up” clients.
She ends noting she has to exempt the client from employment services. This
client will “count against” her numbers.
Finally, having the rules helps caseworkers feel that they treat all clients
the same. The caseworkers argue that treating them the same is the same as
treating them fairly. In this sense, caseworkers argue standardization means
fairness and a lack of discrimination. Historically, there has been some concern
over caseworkers using discretion to illegally discriminate against clients (for
detailed historical analyses see Gordon 1990; as well as recent work by Goo-
den 1998; Hagen and Owens-Manley 2002; Gooden and Douglas 2006; Mon-
nat and Bunyan 2008; Schram et al. 2009; Monnat 2010). The caseworkers
seem aware of this criticism and suggest they must consistently document their
actions on forms and in the computer databases.
Contradictions about Discretion
When I first entered the field, I was told again and again that “this is not a
one size fits all program.” I heard this from the program manager down to each
caseworker. When caseworkers spoke with me, one another, and with clients,
they consistently discussed using “strategies” to fit the needs of clients. After
all, as caseworkers told me, clients’ situations are all different and require dif-
ferent strategies. I was also told the county has a “success staffing” meeting
where clients, DSS personnel, and leaders of local nonprofits get together and
develop strategies to help clients approaching time limits reach “their goal of
self-sufficiency.”
When I attended one of these meetings, I realized the “strategy” was a
laundry list of referrals. The community nonprofit and government agency lead-
ers and DSS personnel would read through the list to see to where the client
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had or had not been referred. If the client had not been referred to a service or
organization on the list, the “success staffing” workers would suggest the client
give that service a try. The client’s program was, therefore, composed of a
standardized strategy, but discussed as if it were an individualized strategy. In
hindsight, a standardized process was not surprising, but the DSS employees’
discussions of using individualized strategies were convincing to me when I
entered the field. This seeming contradiction between what caseworkers
claimed to do and what they actually did was puzzling.
Additionally, when clients complained about the rules that are imposed on
them, many caseworkers and supervisors said that they were just following the
rules imposed on them and that everyone does exactly the same thing when
interacting with a client. This contradicted the rhetoric of developing individual-
ized strategies. If each caseworker was developing individual strategies for cli-
ents, we might expect that different caseworkers would come up with different
strategies. At the very least, they might use discretion in different ways when
interacting with the rules and clients. In the following quote, however, Carol, a
supervisor, suggests that everyone will follow the rules in the same way:
Sometimes you really have to tell and get them away from thinking this is a personal thing.
Some will say, ‘Well, I don’t want her as a worker anymore,’ and you say, ‘Well, ma’am, I
am sorry, but they are all the same.’ You kind of have to explain it, that no matter who they
get they should all be telling them– they have to do the same thing anyway. Carol, Line
Supervisor
Here, Carol speaks of this standardization as a good thing, and a tool that
caseworkers can use to reinforce their justifications for sanctioning clients. As
the prior section illustrated, caseworkers argue that standardization and going
by the rules means they are being fair. However, moments earlier in the inter-
view Carol argued that “welfare has never been a one size fits all and it
shouldn’t be” and that programs need to be individualized so that they can bet-
ter serve clients. In this instance, Carol is referring to the programs that they
can offer people. She wants caseworkers to have extensive time one-on-one
with clients as everyone’s situation is different. She does not want the state to
have such a “numbers game.” Carol and other county Work First employees
resent monitoring from the state and federal governments.
This gap between what caseworkers say they do and what they actually do
may in part reflects the conflicting ideologies of welfare reform. On the one
hand, welfare reform relies on the ideology of devolution. This involves the
notion that local county governments can best meet the needs of local popula-
tions as they understand the local environment. However, counties are still
accountable to the state and federal government. To insure this accountability,
the state and federal governments monitor the counties, requiring them to report
the number of families on the rolls and the percentage of clients involved in
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work-related activities. In this sense, monitoring is evaluation based on county
reports of standardized, quantitative measures. Indeed, monitoring from afar
necessitates a level of standardization on the “shop floor” to increase the effi-
ciency of managing workers (Blau 1963; Clawson 1980). While workers and
supervisors embrace the notion that they use strategies and therefore retain
some autonomy and discretionary power, they also argue that standardization
as necessary and fair.
How Caseworkers Bend the Rules
Despite caseworkers’ insistent claims that they always go by the book,
there are many instances in which caseworkers do bend the rules. In fact, bend-
ing these rules is often encouraged by county supervisors. County supervisors
and caseworkers have brainstorming sessions concerning ways to bend the
rules. This work is not considered rule breaking, but instead is considered good
strategy to “make the numbers.” One supervisor alluded to this, saying:
It is just hard when you are trying to think of ways to make things count for you and you
are dealing with a population that is largely under-educated. . . you know what I am saying—
it’s not—it is just hard to do. Carol, Supervisor
After Carol described the difficulties above, she went on to talk about how
certain activities, such as “job search,” could count for the county for only
6 weeks. If someone takes longer than 6 weeks to search for a job, they no
longer count toward the county’s goal. However, as the state and federal gov-
ernments monitor the counties from afar through statistical measures, the case-
workers are allotted some autonomy to use discretion.
Despite the caseworkers’ and supervisors’ views that many of these statis-
tical measures are ineffective or unattainable, the caseworkers elect to use dis-
cretion in ways that help them meet the numbers. Similar to the workers in
Blau’s (1963) classic study of a state employment agency, the expectations and
demands of the state also outweigh those of the clients. Caseworkers are
accountable to people in power—their bosses—not their subordinate clients.
Specifically, to meet the numbers, caseworkers regularly bend the rules or use
discretion in 3 key ways: they determine when to close a case by what they
need to meet their numbers, they require more hours of job search than the
rules actually call for, and they place all new clients in a job readiness class
whether they need the class or not.
When to Close Cases
A key change in welfare since 1996 has been the pressure on counties to
reduce the number of cases on their caseload rolls. Counties are required on a
regular basis to report the number of cases on their rolls and to update the state
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and federal government on their efforts to reduce this number. Further, just as
each county has goals to get half of its total caseload involved in work-related
activities, caseworkers also strive to reach this goal individually. Each case-
worker has a list of their cases that details the number of months the client has
been receiving benefits and whether or not the client is involved in a work-
related activity. One day, I was shadowing a caseworker, and she described the
report to me. 10She noted which cases were doing what they “should be doing”
and which ones, in her words, “ain’t doing nothin’ for me.” By this she means
that the client is not involved in work-related activities and therefore is not
helping the caseworker reach her goal to have half of her caseload involved in
work-related activities. When I asked further about these cases, she noted some
were cases in which the clients were applying for disability and some were
cases the caseworker was considering closing. I later found that caseworkers
commonly use discretion to determine when to close a case. While not all case-
workers pointed this out, most caseworkers initiated informal conversations
with me about worrying about “their numbers” and frustration with clients hurt-
ing their numbers.
How does this work and what factors influence caseworkers’ decisions to
close a case? Caseworkers can often decide to close a case during the current
month or wait until the next month. The decision is largely based on what the
caseworker needs to make her statistical performance measures, not what clients
need to survive. If the current month’s goals are already met, a caseworker
might delay closing a case until the next month. If the caseworker needed the
case to improve the current work-related activity numbers, she would immedi-
ately close the case. The window of time is narrow, but this pocket of autonomy
is possible due to the paperwork and computer entry lag that is commonplace.
In this way, deciding to delay closing a case is like banking or holding a
kitty (a performance number maker) for the next month. This language of
“banking” or “keeping a kitty” was used by both Donald Roy (1952) and later
Burawoy (1979) 11in their classic ethnographic studies of manufacturing workers
controlling their work output. Burawoy describes this output control and work-
ers playing the game of “making out.” In this game, workers would overpro-
duce to make wage bonuses. However, to avoid being a rate buster, workers
would never overproduce too much. In the unfortunate event that a machine
broke down or you could not overproduce, the workers benefited from having
a kitty—a completed product that they could count in their rate of production
when they needed it. In this sense, the caseworkers engage in a process similar
to rate control tactics (e.g., a “kitty”) as Burawoy (1979) describes. While an
act of discretion in one sense (deciding exactly when to close cases), it is also
an act of consent (the case gets closed eventually, which ultimately serves a
management goal).
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Job Search/Work-Related Activity Requirements
Caseworkers also exercise discretion by requiring more hours of job search
or work-related activity than the rules specify. By the rules, the number of
hours a client must commit to doing job search-related tasks or being involved
in any combination of work-related activities is determined by how long the
client has been receiving benefits. The calculation means that the longer a cli-
ent has been receiving benefits, the more hours they need to log. This is com-
puted by dividing the total money received to date by the legal minimum wage
rate. The outcome is the number of hours a client must be involved in work-
related activities, essentially to “pay back” their cash assistance payments. This
paying back can be carried out through job search, attending the job readiness
class, or participating in a “work experience” program in which the client
works for an employer in the community for no wage.
Caseworkers and supervisors in Smithgrove County were worried about
meeting participation rates. The program manager told me that the supervisors
had a “brainstorming session” and decided they would require every new client
who is physically able to participate in any of these work-related activities to
participate for 35 hours a week. While not a formal policy, they instructed
caseworkers to make this a part of every new client’s MRA. The supervisors
and caseworkers all argue that if they did not require clients go “above and
beyond,” then the clients would not do it. However, if clients fail to achieve
and report this higher rate requirement, they will be sanctioned. Even if clients
reach the number of hours of work-related activity actually required by the
state and county policy, the caseworkers and supervisors enforce the higher
35-hour requirement. They achieve this by telling the clients they need to meet
the higher requirement, and then having the client sign a form that they agree
to do it. At no time, do the caseworkers tell the clients they are asking them to
do more than the rules actually require. Requiring new clients to overproduce
their work-related activity hours works the same way as strategically timing
when to close a case. Increasing new clients’ work-related activity hours and
using discretion about when to close a case helps both the caseworkers and the
county reach their goals for work-related activity. In short, workers “control
their output” similar to the manufacturing workers in Roy and Buraway’s
studies.
Job Readiness Classes
Finally, while the job readiness class was once reserved for people who
really needed to gain skills in resume writing, filling out applications, and cer-
tain “soft skill” development, now the class is mandatory for everyone applying
for Work First benefits. In fact, clients are expected to begin attending the class
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while they are waiting for their applications to be approved. Given the number
of diversion techniques used under TANF, applicants could easily fear that the
failure to attend the class could result in the application not being approved. If
the person is currently a client and receiving benefits, not attending the class
results in a sanction.
This mandatory class requirement serves 2 purposes for the county. First,
anyone who would prefer just to go get a job instead of being forced to sit in a
class for 30 hours a week will be discouraged from seeking assistance. As she
had a stable history of employment, she decided she would rather not seek bene-
fits than be required to attend a class that would not be helpful to her. The poten-
tial client had children, and the cons of arranging childcare and losing earnings to
go to the class were outweighed by the short-term benefits of getting whatever
minimum wage job she could quickly obtain. However, there are potential long-
term consequences. If the woman had been given more time to look for a job, she
might actually be able to find a better job. Making her rush to find a job likely
means she will take the first job that comes along. Judy, the caseworker conduct-
ing the interview with the potential client, suggested to the client that she did not
think the class would be very beneficial to someone with her skill set, but that it
was now required of everyone. When Judy and I left the interview, I inquired as
to how commonly people decided not to finish applying for Work First as they
made the class mandatory. She replied that it happened all the time, at least sev-
eral times a week (and she is one of thirteen caseworkers).
Making the job readiness class mandatory serves a second function for the
county. While the first function helped the county keep people from ever going
on the rolls, this second function helps the county reach its work-related activ-
ity goals. The job readiness class is now one of the few “educational” activities
that count as a work activity. Making all new clients take the class means that
everyone coming onto the welfare rolls is involved in a work-related activity,
thereby helping the county improve its numbers for this newer requirement.
Again, not everyone coming onto the rolls needs this class. Further, time spent
in the class is time that could be spent looking for a job. So while the client is
involved in a work-related activity, it is possible that the client might actually
prolong his or her job search by being in the class. In that sense, this act of
discretion helps the county achieve one end (work-related activity require-
ments), while potentially delaying another (clients getting jobs).
Discussion and Conclusions
Some of the most interesting questions facing scholars of work concern
worker autonomy and their power to exercise discretion. Implicit in this question
is the assumption that workers want autonomy and discretion. Marxists have long
believed that it was human nature to want complete power over one’s labor. As a
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“conscious species being,” humans want to both conceptualize and execute the
labor process. However, Marx (1932) also believed capitalism would corrupt our
human nature, making us content with our exploitation. Since Marx, researchers
have described management processes of routinization of the labor process (Blau-
ner 1964), deskilling of workers (Braverman 1974), and credentialing to control
and differentiate workers (Collins 1979). In this study, I was interested in this
classic question of worker discretion, but also how workers understood discre-
tion. In examining this, I have drawn on both classic and contemporary research
in the literatures on bureaucracy, discretion, and worker autonomy.
Any study of workers and the labor process must be contextualized. The
structural constraints imposed by the federal, state, and county social services
incorporate a number of processes to control caseworkers. Faced with these con-
ditions and uncertainties, how do caseworkers understand their discretion and
autonomy? While some research (Hays 2003; Watkins-Hayes 2009; Maynard-
Moody and Musheno 2009; and Lens 2012 12; 1312; 13) finds variation in how street-level
bureaucrats use discretion, all the caseworkers in my setting used discretion in
ways that helped the county, not clients. A number of things could explain how
they chose to use discretion. First, Smithgrove County was a chosen as the case
study site for uniqueness. The county is a rural, deindustrialized county with
very high unemployment and poverty rates. There are few employment options,
and therefore, it is difficult for caseworkers to assist clients in moving from
welfare to work. In short, caseworkers face substantial challenges to their ability
to help clients and therefore focus more attention on policing clients.
Beyond the county context, there are organizational and caseworker-level
factors that might explain why caseworkers readily use discretion to help the
county. In Smithgrove County, caseworkers came from poor and working-class
backgrounds. Three of the 14 caseworkers once received welfare benefits them-
selves. In this county, caseworkers are not professionally trained social work-
ers. Most caseworkers have only a high school diploma or perhaps an associate
degree from the local community college. In fact, in many ways, caseworkers
are not so different than the clients coming through the doors. The clients, then,
serve as a constant reminder of the conditions the caseworkers themselves
might face if they were to enter the job market again. Therefore, structural con-
straints and deskilling of caseworkers result in a routinized labor process in
which caseworkers with few skills and coming from poor and working-class
backgrounds, lacking professional credentials, are in little position to demand
autonomy and discretionary power to help clients. Faced with this status and
this constraining environment, caseworkers use discretion to make their
numbers and to benefit the county. Caseworkers in this sense have consented
to management control, but in a way that helps them feel helpful (to their
supervisors), effective, and autonomous.
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While this is a study of welfare service provision, this is also a story about
worker autonomy and contemporary labor processes. The social services sector
is one of many service sectors, an area of the economy that is expanding (Tay-
lor 2010). To understand work in this sector, the rich literature on caseworker
discretion is obviously important, but it is also important to see this sector as a
part of a larger picture and greater trends. In Smithgrove County, caseworkers
face more challenges and more constraints in helping clients as the unemploy-
ment and poverty rates are higher than the state or national averages. Case-
workers face enormous challenges moving clients from welfare to work,
making it nearly impossible to be successful in helping clients. However, case-
workers can be effective at enforcing the rules. They can also be good at bend-
ing rules in ways their supervisors would approve (e.g., helping achieve county
work-related activity goals). These actions help caseworkers keep their jobs.
This process is unlikely to be unique among welfare service providers. Future
research should further examine how structural constraints and other contextual
factors are related to worker autonomy.
Future research on social services would benefit greatly from further
exploring the effects of routinization, deskilling, and credentialing on the labor
process. A number of rich sociological studies of other service sectors (Leidner
1993) have uncovered important dynamics of worker autonomy and corporate
control. These studies may uncover social processes that parallel those in the
social services, especially given trends to devolve and privatize more and more
social services. My own research hints at the importance of routinization, desk-
illing, and credentialing processes. In Smithgrove County, eligibility workers
now do the work once carried out by professional social workers, but without
the professional credentials and the power that comes with those credentials.
County DSS offices have streamlined their labor process, routinizing, standard-
izing, and specializing every task they can.
Finally, this research is not without limitations. My study was in a rural
area of the United States and was selected as rural areas are more neglected in
research and as the county experienced considerable economic depression.
While the county is theoretically interesting for those reasons, generalizations
cannot be made to other contexts. Also, as my interest indiscretion emerged
inductively during coding and unfortunately, my data did not allow me to
examine the ways race (of workers and of clients) affects how workers view
their autonomy. There is literature (Monnat 2010; Monnat and Bunyan 2008;
Schram et al. 2009) connecting race to the use of sanctions, which suggests
this is an important avenue of future research. Despite the limitations, I have
argued there are important implications for sociological theory and our under-
standing of worker autonomy more broadly, as well as specifically about how
welfare service providers view their autonomy. We might hypothesize that as
20 TIFFANY TAYLOR
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economies worsen, caseworkers will be less willing to use discretion in ways
that help clients. This could be very consequential for poor families who rely
on cash assistance to survive.
Additionally, the findings have implication for policy. Researchers have
longed questioned the intentions and goals of contemporary welfare policy
makers. While this is still a topic of debate, one thing is clear from my study.
Workers in this county first and foremost focus on making their numbers. This
has negative consequences for clients. The important policy implication here is
the resilience of standardized measures of effectiveness even when a great deal
of evidence shows they can be harmful to the people who are supposed to be
helped by social service workers. This final point is both a question of policy
making, but it also continues to be a question for sociologists. The question of
worker autonomy and social control is as relevant today as it was for Marx.
ENDNOTES
*Please direct correspondence to Tiffany Taylor, Department of Sociology, Kent State Uni-
versity, P.O. Box 5190, Kent, OH 44242-0001, USA; e-mail: [email protected]. 21All names are pseudonyms to protect the identity of the county and workers. All quotes,
when possible, are taken verbatim. I do not alter the respondents’ grammar or vocabulary to pre-
serve their words.2All poverty, unemployment, and wage data come from public reports available at http://
www.bls.gov/ 14and http://www.stats.indiana.edu/uspr/a/us_profile_frame.html. Statistics are approxi-
mated to help protect the identity of the county.3Details on NC policies can be found at: http://anfdata.urban.org/wrd/databook.cfm4S.1932 is the law passed by the Senate and signed by the President. It re-authorized welfare
reform for another 5 years. For more info: http://www.cbpp.org/2-9-07tanf.htm.5In child-only cases, a guardian (not the biological parent) gets cash assistance for raising a
child. For instance, a grandmother might raise their child’s child and receive cash help with related
expenses. The guardian is not required to consistently report information like employment clients.
Instead, the guardians only give school and doctor’s records annually.
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